Broker-Dealers

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Ex-Lehman CEO Fuld Says 27,000 Employees Were Risk Managers

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Lehman Brothers Holdings Inc. had 27,000 risk managers -- the firm’s stockholding employees -- before it collapsed in 2008, former Chief Executive Officer Richard Fuld said.

Baby Boomer Brokers Face Shrinking Market To Sell Businesses

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Some 40 percent of brokers will try to sell their businesses before 2022, potentially flooding the market.

Finra CEO Questions DOL, Outlines Alternative Model B-D Fiduciary Guidelines

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Finra CEO Richard Ketchum says a fiduciary rule is needed because too many brokers are pushing complex financial products on investors without appropriate fee and risk disclosures.

The Wrath Of Hank: Ex-AIG CEO Greenberg Won’t Give Up At Age 90

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A decade after losing control of the company, he’s waging one of Wall Street’s longest and most expensive wars for redemption.

Lawyer Faces Prison, $4.6 Million Fine In Stock Manipulation Case

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A New York securities lawyer faces 1½ years in prison and will pay $4.6 million in fines after admitting to orchestrating a stock manipulation scheme.

Summit Financial Joins Triad

by FA Staff

New firm brings $225 million to the Triad network.

J.M. Group Join Merrill Lynch

by FA Staff

J.M. Group, a three-person advising and portfolio management team, has joined its New York City office in Rockefeller Center from Morgan Stanley.

Voya Nabs $323M Firm From Ameriprise

by FA Staff

Archstone Financial jumps ship to Voya Financial Advisors.

JPMorgan Mulls Pay Changes After Record Low Shareholder Support

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JPMorgan Chase & Co.’s board will consider changes to how it compensates senior managers after a record low percentage of shareholders approved the latest pay packages.

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